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Rules and Regulations

The following page outlines what current rules and regulations are in place to require Business Continuity Plans of different organizations and businesses.

 1. FINRA Rule 4370

Members of FINRA must produce and maintain Business Continuity Plans. Plans must be made available immediately upon request of the FINRA staff. The FINRA rule 4370 is the successor to the NASD rule 3510.

2. National Futures Association (NFA) Compliance Rule 2-38

The National Futures Association made a rule that all members of the NFA must establish and maintain a set of written Business Continuity and disaster recovery plans.

3. New York Stock Exchange (NYSE) Rule 446

The New York Stock Exchange put Rule 446 into effect on August 5, 2004. The rule requires all members to establish and maintain business continuity and contingency plans

 4. NERC Standard EOP-001-2 Emergency Operations Planning

The Standard requires each transmission operator and balancing authority to develop and maintain a set of emergency management plans.

One Comment »

  • Gilberto said:

    Good post. I’m going through some of these issues as well..

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